News Centre

SIFMA CEO: Massachusetts Fiduciary Proposal Would Harm Everyday Investors

Date 07/01/2020

In testimony delivered today, SIFMA expressed strong concern over a Massachusetts proposal to create a state-specific fiduciary standard for broker-dealers and their representatives, and urged the Commonwealth to defer to Regulation Best Interest (Reg BI) – a new nationwide best interest standard which was approved by the SEC in June 2019 and is fully operational in June 2020.

FIA: December 2019 SEF Tracker

Date 07/01/2020

SEC Office Of Compliance Inspections And Examinations Announces 2020 Examination Priorities

Date 07/01/2020

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its examination priorities annually to enhance the transparency of its examination program and to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.

B3 Announces New Portfolio For Ibovespa And Other Indices

Date 07/01/2020

B3 hereby announces the new Bovespa Index (Ibovespa) portfolio, which will be effective from January 6, 2020 to April 30, 2020, based on the closing of the January 3, 2020 trading session. The new Ibovespa portfolio registers the addition of Carrefour ON (CRFB3), Hapvida ON (HAPV3), SulAmérica UNT (SULA11), Cia Hering ON (HGTX3) and Totvs (TOTS3), totaling 73 stocks in 70 companies.

SEC Investor Advisory Committee To Hold Jan. 24 Telephone Meeting

Date 07/01/2020

The Securities and Exchange Commission’s Investor Advisory Committee (IAC) will meet telephonically on Jan. 24 at 11:30 a.m. Eastern time. The public is invited to listen to the meeting live using the dial-in details provided below. A recording of the meeting will be archived on the committee’s web page for later listening.

ESMA Clarifies Rules For CCPs’ Membership Criteria And Due Diligence

Date 07/01/2020

The European Securities and Markets Authority (ESMA) has today issued a report on a survey it conducted into membership arrangements and due diligence by central counterparties (CCPs) towards their clearing members. 

Phase II Of OCC Financial Safeguards Framework Approved By SEC

Date 07/01/2020

Enhancing its resiliency as a Systemically Important Financial Market Utility (SIFMU), OCC, the world's largest equity derivatives clearing organization, today announced that the U.S. Securities and Exchange Commission (SEC) approved Phase II of the company's Financial Safeguards Framework (FSF) on December 11, 2019. The approved changes to OCC's rules, clearing fund, and stress testing and margin methodology were implemented on December 16, 2019.

New Trading Participants At EEX In December 2019

Date 07/01/2020

In December 2019, ENERGOVIA LTD (Sofia) has been admitted to trade futures and options on the EEX power derivatives markets and the market for contracts on emission rights.

SIFMA CEO: Massachusetts Fiduciary Proposal Would Harm Everyday Investors

Date 07/01/2020

In testimony delivered today, SIFMA expressed strong concern over a Massachusetts proposal to create a state-specific fiduciary standard for broker-dealers and their representatives, and urged the Commonwealth to defer to Regulation Best Interest (Reg BI) – a new nationwide best interest standard which was approved by the SEC in June 2019 and is fully operational in June 2020.

Purdue University/CME Group Ag Economy Barometer: Farmers Optimistic About The Future, Even As Their Perception Of Current Economic Conditions Drops

Date 07/01/2020

Producer sentiment regarding current economic conditions of the agricultural economy dropped 12 points in December, according to the Purdue University/CME Group Ag Economy Barometer. The Index of Current Conditions registered a reading of 141, down from 153 in November. Meanwhile, the Index of Future Expectations remained strong, up 2 points in December to a reading of 155. The Ag Economy Barometer, which encompasses results from both indices and is based on a mid-month survey of 400 U.S. crop and livestock producers, dropped 3 points in December to a reading of 150, down from 153 in November.